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A new Financial Industry Regulatory Authority rule creating a general knowledge exam similar to the Series 7 has been approved by the Securities and Exchange Commission and takes effect Oct. 1, 2018. Under the rule, potential registrants would take the Securities Industry Essentials exam, without the need for a firm agreeing to sponsor them. ...
FundVisualizer Wins Best Mutual Fund App
Putnam Investments' FundVisualizer mobile app won the award for best mobile application at the Mutual Fund Service and Technology Awards this week. The app, available for free, enables advisors, brokers and others to evaluate and compare more than 30,000 mutual funds, ETFs and indexes using more than 80 performance and risk metrics. ...
New Executive, Team Join Hightower in Miami
A team of advisors in Miami is joining HighTower, the company said in a statement Thursday. The new True Wealth Advisory Group was previously with J.P. Morgan Private Bank and managed approximately $500 million in client assets. ... |
